Download Asset Servicing Client User Manual

Document Versions and History of Changes
Asset Servicing
Client
User Manual
Version 1.0 / July 2015
Copyright
Copyright
All rights reserved. Reproduction of text and data inclusive storage and usage on optical and electronic media is only
allowed as agreed in contract or with the prior consent of Oesterreichische Kontrollbank AG. The usage of data
inclusive the insertion of this data in online services, databases or websites by unauthorised third persons is prohibited.
2
Table of Contents
Table of Contents
1
2
Document Versions and History of Changes
About the Manual
6
7
2.1 Structure of the Asset Servicing Client User Manual
2.2 Visual Cues in the Asset Servicing Client User Manual
7
8
2.2.1
2.2.2
2.2.3
2.2.4
2.2.5
3
4
Tip Boxes
Information Boxes
Notes Boxes
Step-by-Step Instructions
Typographic Conventions
The Asset Servicing Client
10
3.1
3.2
3.3
3.4
Login
Logout
Fields, Buttons and Icons
The Entry Page (Home)
10
11
12
14
3.4.1 The Menu Bar
15
Income Events
17
4.1 Search Event
17
4.1.1 Searching an Income Event
4.1.2 Field Descriptions (Search Event)
4.2 Information Displayed in the Event Detail View
4.3 Information Displayed in the General Information Tab of the Event Detail View
4.4 Information Displayed in the Options / Entitlements Tab of the Event Detail View
4.4.1 Detail View of Events with Cash Movements (Options / Entitlements Tab)
4.4.2 Detail View of Events with Cash and Securities Movements (Options /
Entitlements Tab)
4.4.3 Detail View of Events with Securities Movements (Options / Entitlements Tab)
4.5 Breakdown Instructions for Events
4.5.1 Non-Redemption of Securities at Maturity (Cash Collection)
4.5.2 Notification of Reduced Withholding Tax Rate (Tax Breakdown)
4.5.3 View Breakdown Instructions for an Event
5
19
21
23
25
25
25
28
30
32
34
35
36
Instructions
38
5.1 All Breakdown Instructions
38
5.1.1 Searching for a Breakdown Instruction
5.1.2 Field Descriptions (Search All Breakdown Instructions)
5.2 Instruction Authorisation
5.2.1 Approving or Rejecting a Breakdown Instruction
5.2.2 Cancelling a Breakdown Instruction
6
8
8
8
8
9
39
40
43
43
44
Notifications
46
6.1 Search Notifications
46
Table of Contents
6.1.1 Searching for Notifications
6.1.2 Field Descriptions (Search Notifications)
7
8
4
Glossary
Index
47
49
51
53
Table of Figures
Table of Figures
Figure 1: Login Portal for OeKB Online Services ............................................................................................................... 10
Figure 2: List of available services in the OeKB Login Portal ............................................................................................ 11
Figure 3: Entry page (Home) of the Asset Servicing Client ............................................................................................... 15
Figure 4: Menu bar of the Asset Servicing Client .............................................................................................................. 15
Figure 5: Menu structure of the Asset Servicing Client .................................................................................................... 16
Figure 6: Search Event ...................................................................................................................................................... 17
Figure 7: Search Event - search result list ........................................................................................................................ 18
Figure 8: Event Detail - General Information ..................................................................................................................... 19
Figure 9: Event Detail - Options / Entitlements ................................................................................................................ 19
Figure 10: Event Detail - Narrative .................................................................................................................................... 20
Figure 11: Event Detail - Notifications .............................................................................................................................. 20
Figure 12: Options / Entitlements Tab for events with cash movements ......................................................................... 26
Figure 13: Options / Entitlements Tab for events with cash and securities movements ................................................. 28
Figure 14: Options / Entitlements Tab for events with securities movements ................................................................. 30
Figure 15: Create Breakdown Instruction (example: DVCA/Cash Dividend) .................................................................... 33
Figure 16: Create Breakdown Instruction - entry successful ............................................................................................ 33
Figure 17: Instruction Detail - View Breakdown Instructions ............................................................................................ 36
Figure 18: View Breakdown Instruction - search result list ............................................................................................... 37
Figure 19: Search All Breakdown Instructions .................................................................................................................. 38
Figure 20: Search Breakdown Instruction - search result list ........................................................................................... 38
Figure 21: Instruction Detail ............................................................................................................................................. 39
Figure 22: Instruction Authorisation List ........................................................................................................................... 43
Figure 23: Instruction Detail - approval ............................................................................................................................. 43
Figure 24: Confirmation - approval ................................................................................................................................... 44
Figure 25: Instruction Detail - cancellation ....................................................................................................................... 45
Figure 26: Confirmation - cancellation .............................................................................................................................. 45
Figure 27: Search Notifications ........................................................................................................................................ 46
Figure 28: Search Notifications - search result list ........................................................................................................... 46
Figure 29: Original SWIFT message of a notification ........................................................................................................ 48
5
Document Versions and History of Changes
1
Document Versions and History of Changes
Version
Date
1.0
29.07.2015
6
Chapter
Changes
About the Manual
2
About the Manual
The manual describes the Asset Servicing Client of the OeKB CSD for use in the daily work processes. You will learn
how to work with the user interface, which inputs and activities in the Asset Servicing Client produce the desired
results, and which general or special functions are available for the effective settlement of income from securities
instructions.
2.1
Structure of the Asset Servicing Client User Manual
Chapter
Content
User Benefit
User Group
About the
Manual
Presentation of the Asset
Servicing Client and of
the user manual
Users will learn how to get
started with the Asset Servicing
Client and become familiar with
the Asset Servicing Client user
manual.
Users working with the
Asset Servicing Client for
the first time.
The Asset
Servicing Client
Structure of the Asset
Servicing Client user
interface and overview of
the user interface’s
elements
Users will find support when
learning how to use the Asset
Servicing Client and find out
about the structure of the Asset
Servicing Client's user interface
and all elements used on the
interface.
Users working with the
Asset Servicing Client for
the first time.
Search Event
Search income events
and create breakdown
instructions
Users will learn how to search
for income events and how to
create breakdown instructions
starting from there.
Users whose task it is to
work with income events,
create breakdown
instructions or handle
existing events.
All Breakdown
Instructions
Search specific
breakdown instructions
in the system
Users will learn how to search
for specific breakdown
instructions.
Users who need to search
for breakdown instructions
for income events.
Instruction
Authorisation
Display breakdown
instructions waiting for
release and open
breakdown instructions
and approve, reject or
cancel them
Users will see all open
breakdown instructions and
breakdown instructions waiting
for release and will learn how to
authorise them or reject their
approval and how to cancel
instructions they entered
previously.
Users whose task it is to
approve or reject
breakdown instructions for
income events or who need
to cancel their previously
entered instructions.
Instructions
Events
Introduction
The following overview outlines the individual chapters of the Asset Servicing Client user manual and their contents.
The third column of the table describes the main benefit from the chapter for the intended user group in the last
column.
Users looking for an
overview of GUI elements
and how to use them.
7
Chapter
Content
User Benefit
User Group
Search
Notifications
Search notifications from
breakdown instructions
Users will learn how to search
for notifications by party and by
ISIN.
Users who require information about notifications.
Glossary
Overview of the terms
used
Users can look up the most
important terms used in the
Asset Servicing Client user
interface and the user manual
with a brief definition.
All users
Glossar
Notifications
About the Manual
2.2
Visual Cues in the Asset Servicing Client User Manual
The user manual contains elements to emphasise information which is of particular importance to the user.
2.2.1
Tip Boxes
TIP
Tip boxes contain instructions on how to work more easily with the Asset Servicing Client or point out
anything that you must take care of when using a certain function.
2.2.2
Information Boxes
INFO
Information boxes contain explanations on how the Asset Servicing Client works or background information.
2.2.3
Notes Boxes
NOTE
Notes boxes contain warnings about possible errors, indicate mandatory entries, or describe system
limitations of the Asset Servicing Client.
2.2.4
Step-by-Step Instructions
Step-by-step instructions guide you through the described procedure in the Asset Servicing Client and lead to the
desired result in individual steps. The steps are listed individually in the form of a numbered list:
How to proceed to get this result
Step by Step
1 Perform step 1.
2 You have the following options:
8
About the Manual
a For option a, proceed like this.
b For option b, proceed like this.
3 Perform step 3.
2.2.5
Typographic Conventions
The following table indicates how different types of information are displayed in the user documentation. These
conventions facilitate reading and highlight information of particular importance.
Type of Information
Representation
Menu paths
In italics starting at the main menu entry and using the symbol > between all menu items.
Example: Search Instructions > All Breakdown Instructions.
Menu items
In italics; Example: Menu item Search Event.
GUI elements
In boldface; Example: the search button, the General Information tab.
Cross references
Hyperlinks; Example: see chapter Income Events. When you are using the PDF version of the
user manual, the links also function as hyperlinks.
9
The Asset Servicing Client
3
The Asset Servicing Client
The Asset Servicing Client provides access to the Asset Servicing of the OeKB CSD. The Asset Servicing Client is used
for the settlement of income. It also includes functionalities for creating breakdown instructions and for displaying
notifications.
3.1
Login
You log on to the Asset Servicing Client via the Web link http://login.oekb.at/rsa.
Figure 1: Login Portal for OeKB Group Online Services
After login the Asset Servicing Client is listed among the services activated for you. Click on the link to launch the Asset
Servicing Client. The Asset Servicing Client will open in a separate window of your web browser.
10
The Asset Servicing Client
Figure 2: List of available services in the OeKB Group Login Portal
INFO
3.2
The Asset Servicing Client is optimised for Internet Explorer and Mozilla Firefox in their latest versions. It is
not recommended to use other browsers.
Logout
To log out from the Asset Servicing Client simply close the browser window. This logs off your user and terminates your
user session.
11
The Asset Servicing Client
3.3
Fields, Buttons and Icons
INFO
Mandatory fields are marked with the * character in the Asset Servicing Client. They must be filled with data
before the record can be saved. All fields in the following table may be mandatory fields.
Element
Usage
Function
Input field, active
field
All screens
Input fields are active fields which you can fill with data. Depending on the
field type, they allow the input of text, numbers, dates or times
Display field,
disabled field
All screens
Display fields are disabled for input. They are displayed with a grey
background.
Fields
You cannot enter data into a display field.
Number field
All screens
Only the following characters are allowed in number fields:

The figures 0 to 9

Dots as thousands separators

One comma per field as decimal comma
NOTE
When entering numbers, please note that the number format
used in the Asset Servicing Client is the German notation of
numbers. i.e. a full stop (.) is used as the thousands separator
and a comma (,) is used as the decimal point.
You have the option to enter amounts unformatted without a thousands
separator, or formatted with a thousands separator. The system validates
the field entries (e.g. when you save data) and adds any thousands
separators. Depending on the field the figure is either displayed with or
without decimal places.
ISIN field
12
All screens
In ISIN fields, you can enter the 12-digit International Securities Identification Number: e.g. AT0000720008
The Asset Servicing Client
Element
Usage
Function
Date field
All screens
Only the following characters are allowed in date fields:

The figures 0 to 9

Dots as separators between day, month, and year
The entry is restricted to 8 numbers and 2 dot characters. You may enter
single-digit days and months without the leading zero and only the last two
digits of the year. A dot is required as a separator between day, month
and year. If you enter the date without a year and/or without a month, the
system will automatically add the current year and, if applicable, the
current month. The following entries are possible:

DD

DDMM

DDMMYY

DDMMYYYY
The date is always displayed in the format DD.MM.YYYY.
Drop-down field
All screens
Drop-down fields contain predefined entries from which you can select
one option. Click on the arrow button on the right side of the field or click
into the field to display the options.
You cannot enter data into a drop-down field.
Buttons
Instruction
Detail screen
(Instruction
Authorisation)
Instruction
Detail screen
Clicking on this button releases the entry. It is submitted to the system for
processing.
Clicking on this button opens the Create Breakdown Instruction screen,
where you can create a breakdown instruction for the selected event.
Instruction
Detail screen
(Instruction
Authorisation)
Clicking on this button prevents the record to be released for settlement.
Search screens
Clicking on this button launches the search using the search criteria you
have entered.
Instruction
Detail screen
Clicking on this button displays all breakdown instructions previously
entered for this event.
Icons
All screens
Clicking on this icon opens the calendar. In the calendar you can select a
date, which will automatically be copied into the corresponding field of the
input screen.
13
The Asset Servicing Client
Element
Usage
Function
Event Detail
screen
Clicking on this icon opens the original view of the notification in a new
browser window.
Event Detail
screen, Options
/ Entitlements
tab
This icon indicates a drop-down screen section, where you can see more
information.
Event Detail
screen, Options
/ Entitlements
tab
This icon indicates a dropped down screen section, where you can see
more information.
All screens
Clicking on this icon reduces the size of the Asset Servicing Client on your
computer screen.
All screens
Clicking on this icon sets the size of the Asset Servicing Client on your
computer screen to its default size.
All screens
Clicking on this icon increases the size of the Asset Servicing Client on
your computer screen.
Search result
lists
Clicking on this icon opens the detail view of the record in this row
Edit screens
and details
views
This icon indicates a link which you can use to return to the previous view.
All screens
This icon at the bottom of screens indicates a link which takes you back to
the top of the page.
Clicking on this icon opens the drop-down screen section.
Clicking on this icon hides the screen section. Only the icon
remains visible.
(see above)
Function Links
3.4
The Entry Page (Home)
The entry page of the Asset Servicing Client shows the menu bar of the Asset Servicing Client with all available
functions and the telephone and fax numbers, as well as the e-mail address where you can reach our service centre in
charge.
14
The Asset Servicing Client
Figure 3: Entry page (Home) of the Asset Servicing Client
3.4.1
The Menu Bar
Figure 4: Menu bar of the Asset Servicing Client
The menu bar shows all functions available to you when you are logged in as a user. Depending on your user
permissions, some of the menu items shown below may be missing in your version of the client.
15
The Asset Servicing Client
Figure 5: Menu structure of the Asset Servicing Client
16
Income Events
4
Income Events
Via the menu item Search Event you can search for specific events in the system and from there you can access the
functionalities Create Breakdown Instruction and View Breakdown Instruction.
4.1
Search Event
You can search for events of different event codes (event names), for events involving a specific ISIN or for events
meeting a combinations of these criteria, each based on the selected party. To limit your search, you can enter a period
of time within which the entitlements were determined.
How to Open the Search Event Screen
Step by Step
1 In the menu bar, select the menu item Search Event.
The search screen appears.
Figure 6: Search Event
TIP
Clicking on search without entering search criteria lists all events available in the system for the first
securities account displayed in the list. If you have the user permission to access more than one securities
account and want to search for specific events for a different securities account or for events of a specific
category, enter criteria in the fields which best characterise the events you are looking for.
17
Income Events
Figure 7: Search Event - search result list
The Asset Servicing Client offers the following twelve categories of income events (Event Name):

CAPD/Capital Distribution

CAPG/Capital Gains Distribution

DECR/Decrease in Value

DVCA/Cash Dividend

EXWA/Warrant Exercise Mandatory

INTR/Interest Payment

MCAL/Full Call/Early Redemption

PCAL/Partial Redemption with Reduction of Nominal Value

PRED/Partial Redemption without Reduction of Nominal Value

REDM/Final Maturity

SHPR/Shares Premium Dividend

WRTH/Worthless
18
Income Events
4.1.1
Searching an Income Event
If you want to see the details of an income event or create a Breakdown Instruction for it, you need to search for the
event you are looking for. Then you can select the required event in the search result list.
Figure 8: Event Detail - General Information
Figure 9: Event Detail - Options / Entitlements
19
Income Events
Figure 10: Event Detail - Narrative
Figure 11: Event Detail - Notifications
INFO
20
Depending on the selected event (Event Name) the tabs showing the detailed information may contain
different fields and data.
Income Events
How to search for an income event:
Step by Step
1 In the menu bar, select the menu item Search Event.
The search screen appears.
The system automatically inserts the appropriate predefined values into the fields:

Party (= topmost entry in the list of available securities accounts)

Event Name (= "all")

Event Type (= "mandatory")

Reference Date from (= date one week before the current date)

Reference Date to (= date two weeks after the current date)

Max. Results per Page (= 25)
TIP
If necessary, modify the entries in the automatically filled-in fields.
2 Enter the desired search criteria in the available fields.
3 Click on the search button.
The search result list containing all events matching your search criteria appears.
4 In the row of the event you want to see, click on the Detail icon
in the rightmost column,
to open the Detail screen of the event.
The system displays the event details and the General Information tab, where you can see the
general event details, such as quantity/nominal value, type of custody, custodian, nature of the
position, eligible positions and pending receive/deliver instructions.
5 You have the following options:
a Click on the Options / Entitlements tab to see the options and the cash and/or securities
movements of the event.
b Click on the Narrative tab to see any available narrative text descriptions of the event.
c1 Click on the Notifications tab to see any notifications for the event.
c2
Click on the download icon
to see the original text of the notification.
d Click on the Create Breakdown Instruction button to create an instruction for the event
(see Breakdown Instructions for Events).
e Click on the View Breakdown Instruction button to see any existing instructions for an
event (see Show Breakdown Instructions for an Event).
6 Click on the function link back to return to the previous screen.
4.1.2
Field Descriptions (Search Event)
The following table describes the fields of the Search Event screen:
21
Income Events
Field
Content (by system)
Entry (by user)
Party
Main safekeeping account
number
Selection from the securities
accounts to which you have access
according to your user permissions
Selection
-
ISIN of the event to be found
-
ISIN
Input Assist.
Length
-
(if the
logged-on
user is
authorised to
access more
than one
securities
accounts)
12
alphanum.
Main
Reference
-
Event
Name
Unique reference of the event to be
found
-
all
Selection from the list:
Selection
The system searches for
events with any event code.
CAPD/Capital Distribution, to search
only for events with the event code
'capital distribution'
CAPG/Capital Gains Distribution, to
search only for events with the event
code 'capital gains distribution'
DECR/Decrease in Value, to search
only for events with the event code
'decrease in value'
DVCA/Cash Dividend, to search only
for events with the event code 'cash
dividend'
EXWA (MAND)/Warrant Exercise
Mandatory, to search only for events
with the event code 'warrant exercise
mandatory'
INTR/Interest Payment, to search
only for events with the event code
'interest payment'
MCAL/Full Call/Early Redemption, to
search only for events with the event
code 'full call/early redemption'
PCAL/Partial Redemption with
Reduction of Nominal Value, to
search only for events with the event
code 'partial redemption with
reduction of nominal value'
PRED/Partial Redemption without
Reduction of Nominal Value, to
search only for events with the event
code 'partial redemption without
reduction of nominal value'
REDM/Final Maturity, to search only
for events with the event code 'final
22
16 max.
alphanum.
-
Income Events
Field
Content (by system)
Entry (by user)
Input Assist.
Length
maturity'
SHPR/Shares Premium Dividend, to
search only for events with the event
code 'shares premium dividend'
WRTH/Worthless, to search only for
events with the event code
'worthless'
Event Type
mandatory
INFO
Reference
Date from to
-
-
-
Date range within which the date for
the calculation of the eligibility
(record date or ex-date minus 1) of
the event to be found shall lie.
Calendar
icon
DD.MM.YYYY
Selection
-
The current version
of the Asset
Servicing Client
supports the search
for events without
choice only.
-
If you leave one of the fields empty,
the system will search starting from
or ending with the date that has been
entered.
If you are searching for a specific day,
enter the same date into both fields.
Max.
Results per
Page
4.2
25
Selection from 10, 25 and 50
The system displays 25 search
results on each page of the
search result list.
Information Displayed in the Event Detail View
Field
Entry
Party
Unique customer number of the logged-in customer
Securities Account
Securities account number of the party's securities account
Main Reference
Unique reference assigned by the system to identify the event
Used in all SWIFT messages
ISIN
ISIN and short description of the financial instrument
23
Income Events
Field
Entry
Event Name
Possible entries for the event code (designation according to the SWIFT Manual):
Status

CAPD/Capital Distribution

CAPG/Capital Gains Distribution

DECR/Decrease in Value

DVCA/Cash Dividend

EXWA (MAND)/Warrant Exercise Mandatory

INTR/Interest Payment

MCAL/Full Call/Early Redemption

PCAL/Partial Redemption with Reduction of Nominal Value

PRED/Partial Redemption without Reduction of Nominal Value

REDM/Final Maturity

SHPR/Shares Premium Dividend

WRTH/Worthless
Current processing status of the event
Possible entries:
Event Type

Created: event was created

Notified: notification was sent

Waiting Payment: event is waiting for payment

Confirmed: event is settled
Possible entries:
MandatoryWithoutChoice
INFO
Face Value Currency
The current version of the Asset Servicing Client supports the search for
events without choice only.
The face value currency
INFO
For financial instruments with a price per unit this field shows the entry
XXX, for financial instruments with a price as percentage of par this field
shows the ISO Code of the currency.
Ex-/Record-Date
Ex date and/or record data
Eligible / Rem. Quantity
Eligible Quantity = eligible securities position
Remaining Quantity = eligible positions minus the quantity for which a valid
breakdown instruction (either of the type Cash Collection or Tax Breakdown) was
issued
24
Income Events
4.3
Information Displayed in the General Information Tab of the Event Detail
View
Field
Entry
Quantity
Quantity or nominal value of the financial instrument
Type of Custody
Custody type of the financial instrument
Possible entries:

GS = collective clearing custody

WR = fiduciary collective custody

SB = individual custody
Custodian
Depository where the financial instrument is kept
Position Nature
Possible entries:

Settled

Blocked (blocking securities account)
Eligible Position
Eligible securities position
Pending to receive
Balance of the open eligible settlement instructions (receipt instructions)
Pending to deliver
Balance of the open eligible settlement instructions (delivery instructions)
4.4
Information Displayed in the Options / Entitlements Tab of the Event Detail
View
Depending on the type of event the detail view shows different types of information. The main difference results from
the fact that there are basically three types of events:

Events with cash movements (CAPD, CAPG, DECR, DVCA, INTR, PRED, SHPR)

Events with cash and securities movements (MCAL, PCAL, REDM, EXWA)

Events with securities movements (WRTH, REDM with Option Laps)
4.4.1
Detail View of Events with Cash Movements (Options / Entitlements Tab)
For events with only cash movements, in the Options / Entitlements tab you will see the expected or effected cash
movements. The tab also displays entitlements based on the positions calculation carried out on the reference date
(EOD). If applicable, compensations and adjustments are also displayed.
TIP
The table below the screenshot describes the information displayed in the Options / Entitlements tab in
greater detail.
25
Income Events
Figure 12: Options / Entitlements Tab for events with cash movements
Field Descriptions Options / Entitlements Tab (Cash Movements)
Information
Explanation
Option Number
This is the unique number of the option as specified in the notification.
Option Type
This is the type of option.
INFO
The current version of the Asset Servicing Client supports options of the type Cash
Option only.
Default Option
This indicates whether the settled option is a default option or not.
Instructed
In the case of events for which a breakdown instruction has been created, this is the total of the
instructed quantity.
Cash Movement
Impact Type
This indicates whether the cash movement is inbound or outbound.
Price
Depending on the event type, this shows either the period interest rate, the dividend amount, the
redemption price or other distribution amount.
Pay Date
This is the date for which the payment is scheduled.
26
Income Events
Information
Explanation
Tax Rate
This is the tax rate applied.
Entitlements (Based on Positions Calculation)
Safekeeping
This is the custody type, the custodian and the position nature of the financial instrument.
Possible custody types:

GS = collective clearing custody

WR = fiduciary collective custody

SB = individual custody
The entry Settled under Position Nature indicates a settled securities position, the entry
Blocked indicates a blocking securities account.
Value Date
This is the expected value date.
Quantity
This is the eligible quantity or nominal value as per reference date.
Gross
This is the gross amount of the eligible quantity in EUR.
Tax
This is the amount of taxes deducted.
Net
This is the net amount of the eligible quantity after deduction of taxes and fees.
Fees
These are any fees charged by the custodian.
Status
This is the processing status of the event.
Possible entries:

confirmed = confirmation was sent, event is settled; confirmation sent by SWIFT or e-mail,
i.e. there are eligible positions and the pay date has already arrived

not confirmed = the event is not yet finally settled or the entry displayed refers to a cash
collection breakdown instruction of a settled event.
Compensation Entitlements
see above
Entitlements
This shows eligible positions from OTC/CCP trades. The details given here basically have the
same meaning as the elements shown in the Entitlements section.
27
Income Events
4.4.2
Detail View of Events with Cash and Securities Movements (Options /
Entitlements Tab)
For events with cash and securities movements, in the Options / Entitlements tab you will see the expected or
effected cash and units movements. The tab also displays entitlements based on the positions calculation carried out
on the reference date (EOD).
TIP
The table below the screenshot describes the information displayed in the Options / Entitlements tab in
greater detail.
Figure 13: Options / Entitlements Tab for events with cash and securities movements
Field Descriptions Options / Entitlements Tab (Cash and Securities Movements)
Information
Explanation
Option Number
This is the unique number of the option as specified in the notification.
28
Income Events
Information
Explanation
Option Type
This is the type of option.
INFO
The current version of the Asset Servicing Client supports options of the type Cash
Option only.
Default Option
This indicates whether the settled option is a default option or not.
Instructed
In the case of events for which a breakdown instruction has been created, this is the total of the
instructed quantity.
Cash Movement
see above Cash
Movements
Securities Movement
see below
Securities
Movements
Entitlements (Based on Positions Calculation)
Safekeeping
This is the custody type, the custodian and the position nature of the financial instrument.
Possible custody types:

GS = collective clearing custody

WR = fiduciary collective custody

SB = individual custody
The entry Settled under Position Nature indicates a settled securities position, the entry
Blocked indicates a blocking securities account.
Quantity
This is the eligible quantity or nominal value as per reference date.
Securities
Movement
This is the quantity of the securities credited or debited or to be credited or debited.
Status
This is the processing status of the event.
Possible entries:

confirmed = confirmation was sent, event is settled; confirmation sent by SWIFT or e-mail,
i.e. there are eligible positions and the pay date has already arrived

not confirmed = the event is not yet finally settled or the entry displayed refers to a cash
collection breakdown instruction of a settled event.
29
Income Events
4.4.3
Detail View of Events with Securities Movements (Options / Entitlements Tab)
For events with only securities movements, in the Options / Entitlements tab you will see the expected or effected
worthless derecognitions.
TIP
The table below the screenshot describes the information displayed in the Options / Entitlements tab in
greater detail.
Figure 14: Options / Entitlements Tab for events with securities movements
Field Descriptions Options / Entitlements Tab (Securities Movements)
Information
Explanation
Option Number
This is the unique number of the option as specified in the notification.
Option Type
This is the type of option.
INFO
The current version of the Asset Servicing Client supports options of the type Cash
Option only.
Default Option
This indicates whether the settled option is a default option or not.
Instructed
In the case of events for which a breakdown instruction has been created, this is the total of the
instructed quantity.
Cash Movement
see above Cash
Movements
30
Income Events
Information
Explanation
Securities Movement
Impact Type
This indicates whether the cash movement is inbound or outbound.
Price
Depending on the event type, this shows either the period interest rate, the dividend amount, the
redemption price or other distribution amount.
Pay Date
This is the date for which the payment is scheduled.
Parity
This is the exchange ratio.
ISIN
This is the ISIN of the financial instrument for which the income event occurs.
Securities
Description
This is the designation of the financial instrument.
Entitlements (Based on Positions Calculation)
Safekeeping
This is the custody type, the custodian and the position nature of the financial instrument.
Possible custody types:

GS = collective clearing custody

WR = fiduciary collective custody

SB = individual custody
The entry Settled under Position Nature indicates a settled securities position, the entry
Blocked indicates a blocking securities account.
Quantity
This is the eligible quantity or nominal value as per reference date.
Securities
Movement
This is the quantity of the securities credited or debited or to be credited or debited.
Status
This is the processing status of the event.
Possible entries:

confirmed = confirmation was sent, event is settled; confirmation sent by SWIFT or e-mail,
i.e. there are eligible positions and the pay date has already arrived

not confirmed = the event is not yet finally settled or the entry displayed refers to a cash
collection breakdown instruction of a settled event.
31
Income Events
4.5
Breakdown Instructions for Events
If you need to control how an event will be settled, this is possible in the Asset Servicing Client by creating breakdown
instructions. Basically, breakdown instructions are used for the following two purposes:

Instructions to not redeem securities at maturity (Cash Collection)

Notifications of reduced withholding tax rate (Tax Breakdown)
NOTE
For tax free events the entry of a reason is mandatory.
INFO
The reduction of the withholding tax rate is only permitted for certain AT ISIN held with OeKB CSD.
A breakdown instruction must be created by the time indicated in the GTC of OeKB CSD.
How to Open the Create Breakdown Instruction Screen
Step by Step
1 In the menu bar, select the menu item Search Event.
The search screen appears.
The system automatically inserts the appropriate predefined values into the fields:

Party (= topmost entry in the list of available securities accounts)

Event Name (= "all")

Event Type (= "mandatory")

Reference Date from (= date one week before the current date)

Reference Date to (= date two weeks after the current date)

Max. Results per Page (= 25)
2 Enter the desired search criteria in the available fields.
TIP
If necessary, modify the entries in the automatically filled-in fields.
3 Click on the search button.
4 In the row of the event for which you want to create a breakdown instruction, click on the
Detail icon
in the rightmost column, to open the Detail screen of the event.
The system displays the event details (General Information tab).
5 Click on the Create Breakdown Instruction button.
The Create Breakdown Instruction screen appears.
6 You have the following options:
a Enter the details of the breakdown instruction to not redeem securities at maturity (cash
collection).
b Enter the details of the breakdown instruction to notify of a reduced withholding tax rate (tax
breakdown).
32
Income Events
Figure 15: Create Breakdown Instruction (example: DVCA/Cash Dividend)
Figure 16: Create Breakdown Instruction - entry successful
33
Income Events
4.5.1
Non-Redemption of Securities at Maturity (Cash Collection)
If you want to not redeem securities at maturity, you need to create a breakdown instruction.
How to Issue an Instruction to Not Redeem Securities at Maturity
Step by Step
1 In the menu bar, select the menu item Search Event.
The search screen appears.
The system automatically inserts the appropriate predefined values into the fields:

Party (= topmost entry in the list of available securities accounts)

Event Name (= "all")

Event Type (= "mandatory")

Reference Date from (= date one week before the current date)

Reference Date to (= date two weeks after the current date)

Max. Results per Page (= 25)
2 Enter the desired search criteria in the available fields.
TIP
If necessary, modify the entries in the automatically filled-in fields.
3 Click on the search button.
4 In the row of the event for which you want to create a breakdown instruction, click on the
Detail icon
in the rightmost column, to open the Detail screen of the event.
The system displays the event details (General Information tab).
5 Click on the Create Breakdown Instruction button.
The Create Breakdown Instruction screen appears.
The system automatically inserts the appropriate predefined values into the fields:
Option (= 001 - Cash Option)
INFO
The current version of the Asset Servicing Client only allows the selection of 001 Cash Option in the Option field.
6 In the field Customer Reference, enter a reference which uniquely identifies the breakdown
instruction.
7 In the field Quantity, enter the required quantity (greater than 0, but not exceeding the
available quantity).
TIP
You can see the available quantity in the dark grey section above the input fields, next
to Remaining Quantity.
8 In the field Purpose, choose Paid via issuer.
9 Click on the Create Breakdown Instruction button to save the instruction (see fig. 15).
The detail view is still available on the screen with a confirmation that the instruction has been
entered in the system (see fig. 16).
34
Income Events
4.5.2
Notification of Reduced Withholding Tax Rate (Tax Breakdown)
If you want to issue a notification of reduced withholding tax, you need to search for the expected event to set its tax
rate to zero. Then you can create the corresponding breakdown instruction.
How to Issue a Notification of Reduced Withholding Tax Rate
Step by Step
1 In the menu bar, select the menu item Search Event.
The search screen appears.
The system automatically inserts the appropriate predefined values into the fields:

Party (= topmost entry in the list of available securities accounts)

Event Name (= "all")

Event Type (= "mandatory")

Reference Date from (= date one week before the current date)

Reference Date to (= date two weeks after the current date)

Max. Results per Page (= 25)
2 Enter the desired search criteria in the available fields.
TIP
If necessary, modify the entries in the automatically filled-in fields.
3 Click on the search button.
4 In the row of the event for which you want to create a breakdown instruction, click on the
Detail icon
in the rightmost column, to open the Detail screen of the event.
The system displays the event details (General Information tab).
5 Click on the Create Breakdown Instruction button.
The Create Breakdown Instruction screen appears.
The system automatically inserts the appropriate predefined values into the fields:
Option (= 001 - Cash Option)
INFO
The current version of the Asset Servicing Client only allows the selection of 001 Cash Option in the Option field.
6 In the field Customer Reference, enter a reference which uniquely identifies the breakdown
instruction.
35
Income Events
7 In the field Quantity, enter the required quantity (greater than 0, but not exceeding the
available quantity).
TIP
You can see the available quantity in the dark grey section above the input fields, next
to Remaining Quantity.
8 In the field Purpose, choose Tax Free.
NOTE
In the case of tax free breakdown instructions the field Reason becomes a
mandatory field. I.e. it is mandatory to specify a reason in this case.
9 In the field Reason, select a reason for the reduction of the withholding tax.
NOTE
If the option Anderes is selected in the field Reason, the field Comment becomes a mandatory
field. I.e. it is mandatory to specify a reason in the text field in this case.
10 Click on the Create Breakdown Instruction button to save the instruction (see fig. 15).
The detail view is still available on the screen with a confirmation that the instruction has been
entered in the system (see fig. 16).
4.5.3
View Breakdown Instructions for an Event
If you want to see the breakdown instructions which were created previously for an event and released, you need to
search for the event in question. Then you can view the list of existing breakdown instructions.
Figure 17: Instruction Detail - View Breakdown Instructions
36
Income Events
Figure 18: View Breakdown Instruction - search result list
How to Display the List of Existing Breakdown Instructions for an Event
Step by Step
1 In the menu bar, select the menu item Search Event.
The search screen appears.
The system automatically inserts the appropriate predefined values into the fields:

Party (= topmost entry in the list of available securities accounts)

Event Name (= "all")

Event Type (= "mandatory")

Reference Date from (= date one week before the current date)

Reference Date to (= date two weeks after the current date)

Max. Results per Page (= 25)
2 Enter the desired search criteria in the available fields.
TIP
If necessary, modify the entries in the automatically filled-in fields.
3 Click on the search button.
4 In the row of the event for which you want to see the existing breakdown instructions, click on
the Detail icon
in the rightmost column, to open the Detail screen of the event.
The system displays the event details (General Information tab).
5 Click on the View Breakdown Instruction button.
A list showing all breakdown instructions existing for the selected event appears.
37
Instructions
5
Instructions
Via the menu item Search Instructions you can search for breakdown instructions, approve instructions or cancel
instructions you entered previously.
5.1
All Breakdown Instructions
You can search all breakdown instructions for instructions of different categories, for instructions involving a specific
ISIN, for instructions showing a certain status or for instructions meeting a combinations of these criteria, each based
on the selected party. To limit your search, you can enter a period of time within which the instruction was created.
How to Open the All Breakdown Instructions Screen
Step by Step
1 In the menu bar, select Search Instructions > All Breakdown Instructions.
The search screen appears.
Figure 19: Search All Breakdown Instructions
TIP
Clicking on search without entering search criteria lists all breakdown instructions available in the system
for the first securities account displayed in the list. If you have the user permission to access more than one
securities account and want to search for specific breakdown instructions for a different securities account
or for instructions of a specific category, enter criteria in the fields which best characterise the instructions
you are looking for.
Figure 20: Search Breakdown Instruction - search result list
38
Instructions
The Asset Servicing Client offers the following twelve categories of income events (Event Name):

CAPD/Capital Distribution

CAPG/Capital Gains Distribution

DECR/Decrease in Value

DVCA/Cash Dividend

EXWA/Warrant Exercise Mandatory

INTR/Interest Payment

MCAL/Full Call/Early Redemption

PCAL/Partial Redemption with Reduction of Nominal Value

PRED/Partial Redemption without Reduction of Nominal Value

REDM/Final Maturity

SHPR/Shares Premium Dividend

WRTH/Worthless
5.1.1
Searching for a Breakdown Instruction
If you want to see the details of a breakdown instruction, you need to search for the instruction you are looking for.
Then you can select the required instruction in the search result list.
Figure 21: Instruction Detail
39
Instructions
How to Search for a Breakdown Instruction
Step by Step
1 In the menu bar, select Search Instructions > All Breakdown Instructions.
The search screen appears.
The system automatically inserts the appropriate predefined values into the fields:

Party (= topmost entry in the list of available securities accounts)

Event Name (= "all")

Event Type (= "mandatory")

Creation Date from (= date one week before the current date)

Creation Date to (= date two weeks after the current date)

Max. Results per Page (= 25)
2 Enter the desired search criteria in the available fields.
TIP
If necessary, modify the entries in the automatically filled-in fields.
3 Click on the search button.
The search result list containing all breakdown instructions matching your search criteria
appears.
4 You have the following options:
a In the Main Reference column, click on the event reference to open the Detail screen of the
event.
b In the row of the breakdown instruction you want to see, click on the Detail icon
rightmost column, to open the Detail screen of the instruction.
The system displays the instruction details.
in the
5 Click on the function link back to return to the previous screen.
5.1.2
Field Descriptions (Search All Breakdown Instructions)
The following table describes the fields of the Search All Breakdown Instructions screen:
Field
Content (by system)
Entry (by user)
Input Assist.
Length
Party
Main safekeeping account
number
Selection from the securities
accounts to which you have access
according to your user permissions
Selection
-
-
ISIN of the instruction(s) to be found
-
ISIN
(if the loggedon user is
authorised to
access more
than one
securities
accounts)
12
alphanum.
Main
Reference
40
-
Unique reference of the instruction(s) to be found
-
16 max.
alphanum.
Instructions
Field
Content (by system)
Entry (by user)
Input Assist.
Length
Status
all
Selection from the list:
-
-
The system searches for
breakdown instructions with
any instruction status.
Created, to search only for instructions which were created and have
already been approved according to
the 4-eyes principle
Selection
-
Cancelled, to search only for instructions which have been
cancelled by the Service Center
"Asset Servicing"
Executed, to search only for
instructions which have already been
considered in the entitlement
Event
Name
all
Selection from the list:
The system searches for
breakdown instructions with
any event code.
CAPD/Capital Distribution, to search
only for instructions to events with
the event code CAPD
CAPG/Capital Gains Distribution, to
search only for instructions to events
with the event code CAPG
DECR/Decrease in Value, to search
only for instructions to events with
the event code DECR
DVCA/Cash Dividend, to search only
for instructions to events with the
event code DVCA
EXWA (MAND)/Warrant Exercise
Mandatory, to search only for
instructions to events with the event
code EXWA (MAND)
INTR/Interest Payment, to search
only for instructions to events with
the event code INTR
MCAL/Full Call/Early Redemption,
to search only for instructions to
events with the event code MCAL
PCAL/Partial Redemption with
Reduction of Nominal Value, to
search only for instructions to events
with the event code PCAL
PRED/Partial Redemption without
Reduction of Nominal Value, to
search only for instructions to events
with the event code PRED
REDM/Final Maturity, to search only
for instructions to events with the
event code INTR
SHPR/Shares Premium Dividend, to
search only for instructions to events
with the event code SHPR
41
Instructions
Field
Content (by system)
Entry (by user)
Input Assist.
Length
Event Type
mandatory
-
-
-
Date range within which the creation
date of the instruction(s) to be found
shall lie
Calendar icon
DD.MM.YYYY
Selection
-
INFO
Creation
Date from to
The current version
of the Asset
Servicing Client
supports the search
for events without
choice only.
-
If you leave one of the fields empty,
the system will search starting from
or ending with the date that has
been entered.
If you are searching for a specific
day, enter the same date into both
fields.
Max.
Results per
Page
42
25
The system displays 25 search
results on each page of the
search result list.
Selection from 10, 25 and 50
Instructions
5.2
Instruction Authorisation
You can approve breakdown instructions which were created, but have not yet been released according to the 4-eyes
principle, reject their approval or cancel instructions you entered previously. The Instruction Authorisation list shows
all instructions in the system currently awaiting approval and your previously entered instructions that are still open.
How to Open the Instruction Authorisation List
Step by Step
1 In the menu bar, select Search Instructions > Instruction Authorisation.
The list of open breakdown instructions and breakdown instructions awaiting approval appears.
Figure 22: Instruction Authorisation List
5.2.1
Approving or Rejecting a Breakdown Instruction
Figure 23: Instruction Detail - approval
43
Instructions
Figure 24: Confirmation - approval
How to Approve or Reject a Breakdown Instruction
Step by Step
1 In the menu bar, select Search Instructions > Instruction Authorisation.
The list of open breakdown instructions and breakdown instructions awaiting approval appears.
2 In the row of the breakdown instruction you want to see, click on the Detail icon
rightmost column, to open the Detail screen of the instruction.
The system displays the instruction details.
in the
3 You have the following options:
a1 To authorise the instruction, click approve.
A confirmation screen appears.
a2 Click on yes to confirm the approval of the instruction.
The breakdown instruction is now released and will be submitted for further processing.
b1 To decline authorisation of the instruction, click reject.
A confirmation screen appears.
b2 Click on yes to confirm the rejection of the instruction.
The record will be deleted and is no longer displayed.
The Instruction Authorisation list appears again.
NOTE
It is not possible to cancel an approved instruction. If this should be required, please send an email to the
Service Center Custody ([email protected]).
5.2.2
Cancelling a Breakdown Instruction
NOTE
It is only possible to cancel instructions previously entered by yourself as long as they have neither been
released nor rejected by another user.
44
Instructions
Figure 25: Instruction Detail - cancellation
Figure 26: Confirmation - cancellation
How to Cancel a Breakdown Instruction You Entered Previously
Step by Step
1 In the menu bar, select Search Instructions > Instruction Authorisation.
The list of open breakdown instructions and breakdown instructions awaiting approval appears.
2 In the row of the breakdown instruction you want to see, click on the Detail icon
rightmost column, to open the Detail screen of the instruction.
The system displays the instruction details.
in the
3 To cancel the instruction, click reject.
A confirmation screen appears.
4 Click on yes to confirm the cancellation of the instruction.
The record will be deleted and is no longer displayed.
The Instruction Authorisation list appears again.
45
Notifications
6
Notifications
Via the menu item Search Notifications you can search for notifications about parties or ISIN.
6.1
Search Notifications
You can search for all notifications in the system, for notifications of a specific type, for notifications in a certain
message format or for notifications meeting a combination of these criteria, each based on a selected party and ISIN.
To limit your search, you can enter a period of time within which the notification was created.
How to Open the Search Notifications Screen
Step by Step
1 In the menu bar, select the menu item Search Notifications.
The search screen appears.
Figure 27: Search Notifications
Figure 28: Search Notifications - search result list
The following four types of notifications are available in the Asset Servicing Client:

CA Confirmation Reverse (MT566)

CA Narrative (MT568)

CA Notification (MT564)
46
Notifications

CA Confirmation (MT566)
6.1.1
Searching for Notifications
If you want to see the original SWIFT message of a notification or the PDF report (depending on the communication
method specified for the securities account), you need to search for the notification you are looking for. Then you can
select the required notification in the search result list.
47
Notifications
TIP
Alternatively, you will find the notifications in the Notifications tab of the Event Details screen.
Figure 29: Original SWIFT message of a notification
NOTE
48
The system displays the SWIFT message in a new browser window. Remember to close this browser window
after viewing the message.
Notifications
How to Search for a Notification
Step by Step
1 In the menu bar, select the menu item Search Notifications.
The search screen appears.
The system automatically inserts the appropriate predefined values into the fields:

Party (= topmost entry in the list of available securities accounts)

Notification Type (= "all")

Message Format (= "all")

Creation Date from (= date one week before the current date)

Creation Date to (= the current date)

Max. Results per Page (= 25)
2 Enter an ISIN.
3 Enter the desired search criteria in the available fields.
TIP
If necessary, modify the entries in the automatically filled-in fields.
4 Click on the search button.
The search result list containing all breakdown instructions matching your search criteria
appears.
5 In the row of the notification you want to see, click on the Notification icon
(.txt or .pdf) in
the rightmost column, to open the SWIFT message or the PDF report of the notification.
The system displays the SWIFT message in a new browser window.
NOTE
Remember to close this browser window after viewing the message.
6 Click on the previous browser window to return to the Search Notifications screen.
6.1.2
Field Descriptions (Search Notifications)
The following table describes the fields of the Search All Breakdown Instructions screen:
Field
Content (by system)
Entry (by user)
Input Assist.
Length
Party
Main safekeeping account
number
Selection from the securities
accounts to which you have access
according to your user permissions
Selection
-
-
ISIN in the notification(s) to be found
-
ISIN
(if the loggedon user is
authorised to
access more
than one
securities
accounts)
12
alphanum.
49
Notifications
Field
Content (by system)
Entry (by user)
Input Assist.
Length
Main
Reference
-
Unique reference in the
notification(s) to be found
-
16 max.
Notification
Type
all
Selection from the list:
CA Confirmation Reverse
Selection
-
-
-
Calendar icon
DD.MM.YYYY
Selection
-
The system searches for
notifications by SWIFT
message type.
alphanum.
CA Narrative
CA Notification
CA Confirmation
Message
Format
all
Selection between Report or SWIFT
The system searches for
notifications with any format.
By selecting Report it is possible to
search exclusively for notifications
which were created as a PDF report.
By selecting SWIFT it is possible to
search exclusively for notifications
which exist in SWIFT message
format.
Creation
Date from to
-
Date range within which the creation
date of the notification(s) to be
found shall lie
If you leave one of the fields empty,
the system will search starting from
or ending with the date that has
been entered.
If you are searching for a specific
day, enter the same date into both
fields.
Max.
Results per
Page
50
25
The system displays 25 search
results on each page of the
search result list.
Selection from 10, 25 and 50
Glossary
7
Glossary
Begriffe und Termini
Erläuterung
4-eyes principle
See Four Eyes Principle
Asset Servicing Client
System of the OeKB CSD for the settlement of income from securities instructions.
Breakdown Instruction
Instruction to not redeem securities at maturity or notification of a reduced withholding
tax rate.
Button
Rectangular field in the screens of the Settlement client in the form of a pushbutton.
Clicking on this field with the left mouse button triggers a certain program function.
Cash Collection
Instruction to not redeem securities at maturity by means of a Breakdown Instruction.
Detail screen
See Detail View
Detail View
Screen in the Asset Servicing Client where data are displayed, but which does not allow
these data to be modified by users.
Edit screen
Screen in the Asset Servicing Client where users may edit and modify data. Whether a
specific user may modify a specific record depends on the user's permissions and the
processing status of the record.
Field
Unit of the Asset Servicing Client user interface which allows the entry or display of a
specific information detail of a record. Different types of fields in the Asset Servicing
Client support the entry of different types of information, such as textual information,
numbers and amounts, date entries, etc.
Four Eyes Principle
Two-level verification method for entering, modifying and deleting instructions and other
records where the instructions entered in the Asset Servicing Client must be approved by
a person other than the one who has originally entered the data. Only after approval by
the second user the information will be released for further processing.
Function link
Link in screens and detail views which triggers a specific action, similar to buttons.
Icon
Graphical display element without text of the Asset Servicing Client user interface, which
functions as a link that triggers a certain action.
Input screen
See Screen.
List
Unit of the Asset Servicing Client user interface which displays data in the form of a table.
For example, lists are filled with the appropriate data after a search was performed. The
lists display data in a predefined layout.
Login
Registration of a user at a software application. For this purpose user data are entered,
which identify the user within the system. A successful login is the prerequisite for
working with the Asset Servicing Client.
Login is carried out on the login page for OeKB CSD Online Services.
51
Glossary
Begriffe und Termini
Erläuterung
Logout
Exiting of a user from a software application. Users log out from the Asset Servicing Client
by closing the browser window. This ends the current user session with the system. A new
login is possible via the Login Portal for OeKB CSD Online Services.
Menu
The main menu of the Asset Servicing Client contains all available program functions in
the form of menu items grouped in a clear hierarchical structure.
Online Services
Services of the OeKB e.g. for the settlement of income providing state-of-the-art, userfriendly real-time systems and professional support.
The Login Portal of the OeKB Online Services is where you can log on to the Asset
Servicing Client.
Record
A data set which together represents a certain information unit. An information unit may
be e.g. a breakdown instruction, i.e. an information unit which may be processed in the
Asset Servicing Client.
Save
Confirmation of entered data and submittal of the record to the system.
Screen
Unit of the Asset Servicing Client user interface which contains several elements (fields)
for entering or displaying details of information.
Search result list
List displayed after a search run was performed. Search result lists contain the results
which meet the defined search criteria.
Second Person
Authorisation
See Four Eyes Principle
Tax Breakdown
Notification of a reduced withholding tax rate by means of a Breakdown Instruction.
Tooltip
Pop-up text providing helpful information or explaining a certain screen element. A tooltip
is displayed when you hover the mouse pointer over e.g. a button or any other screen
element for about 2 seconds.
52
Entries: 0 - E
8
Index
0
0 % withholding tax .......................................................... 32
A
A icon...... ........................................................................... 14
All Breakdown Instructions ............................................. 38
approval ............................................................................. 43
approve
breakdown instructions ................................................... 43
approve, button ................................................................ 13
arrow between horizontal lines ...................................... 14
arrow with double line on top ......................................... 14
Asset Servicing Client, definition .................................... 10
authorisation..................................................................... 43
B
back, function link ............................................................ 14
breakdown instruction
approve............................................................................ 43
search .............................................................................. 38
button
approve............................................................................ 13
Create Breakdown Instruction ......................................... 13
reject ............................................................................... 13
search .............................................................................. 13
View Breakdown Instruction ............................................ 13
C
Calendar icon .................................................................... 13
CAPD ............................................................................ 18, 39
CAPG ............................................................................ 18, 39
Capital Distribution .................................................... 18, 39
Capital Distribution, event category ........................ 18, 39
Capital Gains Distribution.......................................... 18, 39
Capital Gains Distribution, event category .............. 18, 39
Cash Dividend ............................................................. 18, 39
Cash Dividend, event category ................................. 18, 39
chapter overview ................................................................. 7
close application............................................................... 11
confirmation...................................................................... 47
confirmation reverse ........................................................ 46
contact ............................................................................... 14
Create Breakdown Instruction, button........................... 13
Creation Date from (field)
Search All Breakdown Instructions screen ...................... 42
Search Notifications screen ............................................ 50
Creation Date to (field)
Search All Breakdown Instructions screen ..................... 42
Search Notifications screen ............................................ 50
Custodian (field)
Event Detail screen ......................................................... 25
D
date field ............................................................................ 13
decimal places .................................................................. 12
DECR .............................................................................18, 39
Decrease in Value .......................................................18, 39
Decrease in Value, event category ............................18, 39
Details
event ......................................................................... 19, 39
income event ............................................................ 19, 39
download icon ................................................................... 14
drop-down field ................................................................. 13
DVCA ............................................................................18, 39
E
Eligible / Rem. Quantity (field)
Event Detail screen ......................................................... 24
Eligible Pos. (field)
Event Detail screen ......................................................... 25
entry page .......................................................................... 14
event
Details ....................................................................... 19, 39
non-redemption .............................................................. 32
search ............................................................................. 17
event categories .........................................................18, 39
CAPD......................................................................... 18, 39
CAPG ......................................................................... 18, 39
Capital Distribution ................................................... 18, 39
Capital Gains Distribution ......................................... 18, 39
Cash Dividend ........................................................... 18, 39
DECR ......................................................................... 18, 39
Decrease in Value ..................................................... 18, 39
DVCA ........................................................................ 18, 39
EXWA ........................................................................ 18, 39
Final Maturity ............................................................ 18, 39
Full Call/Early Redemption ....................................... 18, 39
Interest Payment....................................................... 18, 39
INTR .......................................................................... 18, 39
MCAL ........................................................................ 18, 39
Partial Redemption with Reduction of Nominal Value18, 39
53
Entries: F - F
Partial Redemption without Reduction of Nominal Value18,
39
PCAL ..........................................................................18, 39
PRED..........................................................................18, 39
REDM.........................................................................18, 39
Shares Premium Dividend .........................................18, 39
SHPR .........................................................................18, 39
Warrant Exercise Mand..............................................18, 39
Warrant Exercise Mandatory .....................................18, 39
Worthless...................................................................18, 39
WRTH .........................................................................18, 39
event code ................................................................... 18, 39
Event Detail (fields)
Custodian ........................................................................ 25
Eligible Pos. ..................................................................... 25
Event Name ..................................................................... 24
Event Type ....................................................................... 24
Face Value Currency........................................................ 24
ISIN .................................................................................. 23
Main Reference ............................................................... 23
Party ................................................................................ 23
Pend. to deliver................................................................ 25
Pend. to receive ............................................................... 25
Pos. Nature ...................................................................... 25
Quantity ........................................................................... 25
Securities Account .......................................................... 23
Status .............................................................................. 24
Type of Custody ............................................................... 25
Event Details (fields)
Eligible / Rem. Quantity .................................................. 24
Ex-/Record-Date ............................................................. 24
Event Name (field)
Event Detail screen.......................................................... 24
Search All Breakdown Instructions screen ...................... 41
Search Event screen ........................................................ 22
Event Type (field)
Event Detail screen.......................................................... 24
Search All Breakdown Instructions screen ...................... 42
Search Event screen ........................................................ 23
Ex-/Record-Date (field)
Event Detail screen.......................................................... 24
EXWA ........................................................................... 18, 39
F
Face Value Currency (field)
Event Detail ..................................................................... 24
field
Creation Date from
Search Breakdown Instruction ..................................... 42
Search Notifications .................................................... 50
Creation Date to
Search Breakdown Instruction ..................................... 42
Search Notifications .................................................... 50
54
Custodian
Event Detail................................................................. 25
Eligible / Rem. Quantity
Event Details ............................................................... 24
Eligible Pos.
Event Detail................................................................. 25
Event Name
Event Detail................................................................. 24
Search Breakdown Instruction..................................... 41
Search Event ............................................................... 22
Event Type
Event Detail................................................................. 24
Search Breakdown Instruction..................................... 42
Search Event ............................................................... 23
Ex-/Record-Date
Event Details ............................................................... 24
Face Value Currency
Event Detail................................................................. 24
ISIN
Event Detail................................................................. 23
Search Breakdown Instruction..................................... 40
Search Event ............................................................... 22
Search Notifications .................................................... 49
Main Reference
Event Detail................................................................. 23
Search Breakdown Instruction..................................... 40
Search Event ............................................................... 22
Search Notifications .................................................... 50
Max Results per Page
Search Breakdown Instruction..................................... 42
Search Event ............................................................... 23
Search Notifications .................................................... 50
Message Format
Search Notifications .................................................... 50
Notification Type
Search Notifications .................................................... 50
Party
Event Detail................................................................. 23
Search Breakdown Instruction..................................... 40
Search Event ............................................................... 22
Search Notifications .................................................... 49
Pend. to deliver
Event Detail................................................................. 25
Pend. to receive
Event Detail................................................................. 25
Pos. Nature
Event Detail................................................................. 25
Quantity
Event Detail................................................................. 25
Reference Date from
Search Event ............................................................... 23
Reference Date to
Search Event ............................................................... 23
Securities Account
Entries: I - N
Event Detail ................................................................. 23
Status
Event Detail ................................................................. 24
Search Breakdown Instruction ..................................... 41
Type of Custody
Event Detail ................................................................. 25
fields .................................................................................. 12
active field ....................................................................... 12
date field.......................................................................... 13
disabled field ................................................................... 12
drop-down field................................................................ 13
grey field .......................................................................... 12
input field ........................................................................ 12
ISIN field .......................................................................... 12
number field .................................................................... 12
Final Maturity .............................................................. 18, 39
Final Maturity, event category .................................. 18, 39
fiscal handling................................................................... 32
Full Call/Early Redemption ....................................... 18, 39
Full Call/Early Redemption, event category ............ 18, 39
function link
back ................................................................................. 14
top ................................................................................... 14
I
icon
*.... .................................................................................. 12
A with arrow pointing down ............................................. 14
A with arrow pointing up.................................................. 14
A....... ............................................................................... 14
arrow between horizontal lines ........................................ 14
arrow pointing down between horizontal lines ................ 14
arrow pointing up with line on top ................................... 14
arrow with double line on top .......................................... 14
calendar........................................................................... 13
details .............................................................................. 14
display ............................................................................. 14
double line with arrow pointing up .................................. 14
download ......................................................................... 14
lines with arrow pointing down ........................................ 14
lines with arrow pointing up ............................................ 14
magnifier ......................................................................... 14
notification ...................................................................... 14
sheet................................................................................ 14
income event
Details .......................................................................19, 39
information box ................................................................... 8
information types ................................................................ 9
input field .......................................................................... 12
input field, disabled .......................................................... 12
Instruction Authorisation ................................................ 43
Interest Payment ........................................................ 18, 39
Interest Payment, event category ............................ 18, 39
INTR ..............................................................................18, 39
Introduction ......................................................................... 7
ISIN (field)
Event Detail screen ......................................................... 23
Search All Breakdown Instructions screen ..................... 40
Search Event screen ....................................................... 22
Search Notifications screen ............................................ 49
ISIN field ............................................................................ 12
L
leave ................................................................................... 11
line with arrow pointing down ......................................... 14
line with arrow pointing up .............................................. 14
link
back ................................................................................ 14
top................................................................................... 14
Login................................................................................... 10
logout ................................................................................. 11
M
magnifier ............................................................................ 14
Main Reference (field)
Event Detail screen ......................................................... 23
Search All Breakdown Instructions screen ..................... 40
Search Event screen ....................................................... 22
Search Notifications screen ............................................ 50
mandatory fields ............................................................... 12
Max Results per Page (field)
Search All Breakdown Instructions Maske ...................... 42
Search Event screen ....................................................... 23
Search Notifications screen ............................................ 50
MCAL ............................................................................18, 39
menu bar ............................................................................ 15
menu item
Search Event ................................................................... 17
Search Instructions ......................................................... 38
Search Notifications........................................................ 46
Menu items ........................................................................ 15
Message Format (field)
Search Notifications screen ............................................ 50
MT564 ................................................................................ 46
MT566 ..........................................................................46, 47
MT568 ................................................................................ 46
N
narrative
notification type .............................................................. 46
non-redemption ...........................................................32, 34
notes box ............................................................................. 8
notification
confirmation.................................................................... 47
55
Entries: O - S
confirmation reverse ....................................................... 46
MT566 .......................................................................46, 47
narrative .......................................................................... 46
notification ...................................................................... 46
notification type............................................................... 46
PDF report ....................................................................... 47
SWIFT message ............................................................... 47
type ................................................................................. 46
notification type
confirmation .................................................................... 47
Confirmation Reverse ...................................................... 46
MT564 ............................................................................. 46
MT568 ............................................................................. 46
narrative .......................................................................... 46
notification ...................................................................... 46
Notification Type .............................................................. 46
Notification Type (field)
Search Notifications screen ............................................ 50
Notifications
search .............................................................................. 46
notifications icon .............................................................. 14
number field ...................................................................... 12
O
original message (notification) ....................................... 47
own securities
non-redemption ............................................................... 34
P
Partial Redemption with Reduction of Nominal Value 18,
39
Partial Redemption with Reduction of Nominal Value,
event category.............................................................. 39
Partial Redemption without Reduction of Nominal Value
................................................................................. 18, 39
Partial Redemption without Reduction of Nominal Value,
event category........................................................ 18, 39
Party (field)
Event Detail screen.......................................................... 23
Search All Breakdown Instructions screen ...................... 40
Search Event screen ........................................................ 22
Search Notifications screen ............................................ 49
PCAL ............................................................................. 18, 39
PDF report (notification) .................................................. 47
Pend. to deliver (field)
Event Detail screen.......................................................... 25
Pend. to receive (field)
Event Detail screen.......................................................... 25
Pos. Nature (field)
Event Detail screen.......................................................... 25
PRED ............................................................................ 18, 39
56
Q
Quantity (field)
Event Detail screen ......................................................... 25
R
REDM ............................................................................18, 39
reduced withholding tax .................................................. 35
Reference Date from (field)
Search Event screen ....................................................... 23
Reference Date to (field)
Search Event screen ....................................................... 23
reject
breakdown instruction .................................................... 43
reject, button..................................................................... 13
release................................................................................ 43
S
search
All Breakdown Instructions ............................................. 38
breakdown instruction .................................................... 38
event ............................................................................... 17
income event .................................................................. 17
Notifications.................................................................... 46
Search Notifications........................................................ 46
Search Breakdown Instruction (fields)
Creation Date from ......................................................... 42
Event Name..................................................................... 41
Event Type ...................................................................... 42
ISIN ................................................................................. 40
Main Reference ............................................................... 40
Max Results per Page ..................................................... 42
Party................................................................................ 40
Status.............................................................................. 41
Search Event ..................................................................... 17
Search Event ..................................................................... 17
Search Event (fields)
Event Name..................................................................... 22
Event Type ...................................................................... 23
ISIN ................................................................................. 22
Main Reference ............................................................... 22
Max Results per Page ..................................................... 23
Party................................................................................ 22
Reference Date from ....................................................... 23
Search Instructions .......................................................... 38
Search Notifications ......................................................... 46
Search Notifications (fields)
ISIN ................................................................................. 49
Main Reference ............................................................... 50
Max Results per Page ..................................................... 50
Message Format ............................................................. 50
Notification Type ............................................................. 50
Entries: T - Z
Party ................................................................................ 49
Search Notifications(fields)
Creation Date from .......................................................... 50
search, button................................................................... 13
Securities Account (field)
Event Detail screen.......................................................... 23
Shares Premium Dividend ......................................... 18, 39
Shares Premium Dividend, event category.............. 18, 39
sheet icon .......................................................................... 14
SHPR ............................................................................ 18, 39
Status (field)
Event Detail screen.......................................................... 24
Search All Breakdown Instructions screen ...................... 41
step-by-step instructions, description .............................. 8
SWIFT message (notification) ......................................... 47
T
tax free ........................................................................ 32, 35
tip box ................................................................................... 8
top, function link .............................................................. 14
type
notification ...................................................................... 46
Type of Custody (field)
Event Detail screen.......................................................... 25
typographic conventions ................................................... 9
V
View Breakdown Instruction, button .............................. 13
visual cues ........................................................................... 8
W
Warrant Exercise Mandatory .....................................18, 39
Warrant Exercise Mandatory, event category .........18, 39
withholding tax ................................................................. 32
withholding tax rate ......................................................... 35
Worthless.....................................................................18, 39
Worthless, event category .........................................18, 39
WRTH ............................................................................18, 39
X
XE ........................................................................................ 18
Z
zero withholding tax ......................................................... 35
57
Strauchgasse 3
1010 Vienna, Austria
Tel. +43 1 531 27-2100
[email protected]
www.oekb-csd.at